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Earl S. Casias

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CRD#: 1909806
EC

Professional summary

Earl Shawn Casias was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Earl is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Earl had worked at 11 firms, which includes PEACOCK HISLOP STALEY & GIVEN INC., PARADISE VALLEY SECURITIES INC., CENTEX SECURITIES INCORPORATED, SHAMROCK PARTNERS LTD, MONACO SECURITIES INC., AMR SECURITIES INC., FIRST AMERICAN BILTMORE SECURITIES INC., WHITEHALL INVESTMENT SECURITIES LTD., L.M. DREW & ASSOCIATES, L.F. THOMPSON & COMPANY, J. W. GANT & ASSOCIATES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shawn Earl Casias | Shawn Casias

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 18, 2000 - November 22, 2002

PEACOCK, HISLOP, STALEY & GIVEN, INC.

BD
CRD#: 21477
PHOENIX, AZ
Past

August 5, 1998 - October 17, 2000

PARADISE VALLEY SECURITIES, INC.

BD
CRD#: 18501
PHOENIX, AZ
Past

February 25, 1997 - July 21, 1998

CENTEX SECURITIES, INCORPORATED

BD
CRD#: 18493
LA JOLLA, CA
Past

November 4, 1994 - March 5, 1997

SHAMROCK PARTNERS, LTD

BD
CRD#: 23955
MEDIA, PA
Past

July 31, 1992 - October 27, 1994

MONACO SECURITIES, INC.

BD
CRD#: 15719
DENVER, CO
Past

August 9, 1991 - August 4, 1992

AMR SECURITIES, INC.

BD
CRD#: 23368
Past

December 20, 1990 - August 12, 1991

FIRST AMERICAN BILTMORE SECURITIES, INC.

BD
CRD#: 17585
Past

April 12, 1990 - October 29, 1990

WHITEHALL INVESTMENT SECURITIES, LTD.

BD
CRD#: 21312
Past

September 18, 1989 - May 9, 1990

L.M. DREW & ASSOCIATES

BD
CRD#: 16368
Past

June 14, 1989 - September 13, 1989

L.F. THOMPSON & COMPANY

BD
CRD#: 21820
Past

May 15, 1989 - June 21, 1989

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/4/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 10/8/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/13/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/21/1993
General Securities Principal Examination

Current Firm

PH
PEACOCK, HISLOP, STALEY & GIVEN, INC.
HOLLIDAY SECURITIES, INC. | PEACOCK, HISLOP, STALEY & GIVEN, INC. | PEACOCK, HISLOP, STALEY & GIVEN

CRD#: 21477 / SEC#: , 8-38994

BD
Terminated by SEC on 03/03/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Arizona since 10/07/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TUMACACORI HOLDINGS INC.SHAREHOLDER
HISLOP, THOMAS ROBERTCEO, MANAGING DIRECTOR246889
MILLER, DAVID WELLSCFO, CCO, MANAGING DIRECTOR334612
STALEY, LARRY PAULVICE CHAIRMAN433294
STRICKLIN, JAMES LAWRENCEMANAGING DIRECTOR1508443
THOMAS, THOMAS LOUISMANAGING DIRECTOR1280013

Disclosures

Regulatory Event6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PEACOCK, HISLOP, STALEY & GIVEN, INC.

CRD#: 21477

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